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Wall Street Equities, Inc.

Wall Street Equities, Inc. (CRD #18432, New York, New York) received a censure and fine of $10,000. According to the findings, the firm failed to execute orders presented at the firm's published bid or published offer in an amount up to its published quotation size and, thereby, failed to honor its published quotation. In addition, the firm's supervisory system did not provide adequate supervision to achieve compliance with applicable securities laws and regulations concerning the SEC and NASD firm quote rules. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS010004)

Did Wall Street Equities, Inc. manage your investments?



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